Fact Find

Document for Discretionary &
Advisory Services (Corporates)

Important Information: The information contained in this Fact Find Document is used to assess the suitability of the products/services based on your personal and financial circumstances and risk profile. You must complete all sections fully and accurately. Where indicated, please complete the document for the nominated individual acting on behalf of the Corporate, otherwise information provided should be on a Corporate level. If you need assistance completing this Client Agreement or if you have any questions, please contact your Investment Manager.

SECTION 1:

NAME OF ACCOUNT

SECTION 2:

PERSONAL CIRCUMSTANCES

2.1 NATURE OF BUSINESS

Are you currently working in, or have you worked in any of the following industries?

2.2. INVESMTENT KNOWLEDGE AND EXPERIENCE

(Nominated person acting on behalf of the Corporate)

Please tick below how long you have invested in the financial market :

Please tick below the type of investment(s) you have previously invested in :

2.3. EDUCATION HISTORY

(Nominated person acting on behalf of the Corporate)

SECTION 3:

INVESTMENT OBJECTIVE
OF THE CORPORATE

Please tick below the objective(s) of your investment(s)

Risk Declaration

SECTION 4:

FINANCIAL CIRCUMSTANCES
OF THE CORPORATE

4.1. INCOME AND EXPENDITURE

Please state your annual gross income from the following source :

Please state your monthly expenses to the nearest Pound :

4.2. ASSETS AND LIABILITIES

Please state the value of your assets from the following source to the nearest Pound :

Please state the value of your liabilities from the following source to the nearest Pound :

SECTION 5:

TIME INVESTMENT HORIZON
OF THE CORPORATE

Please indicate the timeframe you would like to invest :

SECTION 6:

CAPACITY TO WITHSTAND LOSS
OF THE CORPORATE

How much of this investment could you afford to lose without havinga significant impact on your standards of living :

If you require a sudden access to a lump sum, how likely will you need to withdraw from this investment :

SECTION 7:

RISK PROFILE OF THE CORPORATE

7.1. RISK ASSESSMENT

Agree

Disgree

Neutral

Being financially cautious is important to me

I expect my investments to be risk-free

I do not want to take high risks for this investment

I was very risky in my past investments

Even if I could get high returns, I would prefer not to invest in something that might decline in value

It is my goal to maximise long term investment

7.2. ATTITUDE TO RISK

Please tick the statement which closely matches to your attitude to risk :

SECTION 8:

OTHER REQUIREMENTS
OF THE CORPORATE

8.1 INVESTMENT RESTRICTIONS

8.2. INCOME REQUIREMENT

SECTION 9:

FUNDING OF ACCOUNTS

9.1 SOURCE OF FUNDS

Please select your view on each statement that most closely matches your attitude to risk :

9.2 SOURCE OF WEALTH

Please state below the source of your wealth :

SECTION 10:

DECLARATION

By signing this Client Agreement, I confirm that :

  • I have the authority to act on behalf of the Corporate.
  • The information provided to Henderson Rowe Limited
    is complete and accurate to the best of my knowledge.
  • By failing to provide complete and accurate information,
    Henderson Rowe Limited may not be able to provide the
    most suitable investment solutions to me.
  • I will contact Henderson Rowe Limited as soon as possible
    as and when any of the above information changes.